Danielle Stermer
Cambridge,MD
Summary
Dedicated and knowledgeable Financial Support Professional effective at helping Wealth Management Advisors and Clients accomplish daily tasks and goals with over 30 years of experience in the Financial Planning Industry. Series 7 and 66 Licensed.
Overview
32
32
years of professional experience
Work History
Registered Sales Assistant
M&T Bank/LPL Financial
01.2015 - Current
- Assistant to Financial Advisor, CFP in all aspects of investment and financial services -covering 7 Bank branches
- Liaison with internal departments
- Process payments, transfers, trades and other transactions.
- Manage account activities that are operational in nature- new accounts, cash management, account maintenance (e.g., periodic distributions, debits)
- Open, update, and maintain all customer accounts as needed including correcting NIGO accounts (not in good order)
- Prepare and process client documents ensuring accurate completion
- Work with clients on wide array of topics including withdrawals transfers, product features, tax related questions, new account opening, etc.
- Educate clients on account services, and new technology - eSignature, paperless statements, Account View (client portal), My Rep Chat, etc.
- Document all client interactions in ClientWorks Notes.
- Keep client management systems up-to-date with client information.
- Outreach to clients and Financial Advisor on time sensitive activities (e.g., RMDs)
- Communicate with internal departments to ensure clients' expectations for timely service are met.
- Proactively schedule annual reviews and client appointments for Financial Advisor
- Prepare presentations for Financial Advisor appointments, including information about outside annuities and insurance, Money Guide Pro, Hypothetical Illustrations, and Portfolio Analyzer
- Prepare reports in MoneyGuide pro, Hypothetical reports and Portfolio Analyzer in American Funds
- Performs wide range of administrative tasks to facilitate effective office operations for 7 branches, including ordering office supplies, and maintaining client and Compliance files; as well as making sure all signage, business cards, etc. are compliant and updated for audit purposes.
- Coordinates and prepares materials for ongoing training for Licensed Banker quarterly meetings.
- Attend continuing education courses and workshops to gain additional industry knowledge and keep FINRA licenses current.
- Promote products and services using upselling and other sales strategies.
- Assist leadership team with support including expense reporting (utilizing Concur), and travel arrangements.
Senior Investment Associate, Manager Assistant
Merrill Lynch
11.1997 - 04.2014
- Assisted multiple Financial Advisors in all day to day activities of investment business
- Assisted clients with all service related tasks, new account opening, money movement, all operational procedures
- Direct Assistant to Branch Manager responsible for office supply ordering, Compliance, Audit procedures and reviews ,HR paperwork, scheduling meetings, arranging travel, running reports
- Assisted in recruitment and transition of new Producers from competing firms
- Entered trades: equities, mutual funds, options, bonds
- Created employee schedules to align coverage with forecasted demands.
- Cultivated client relationships through high levels of direct communication to maintain customer loyalty.
Operations Manager Assistant
Smith Barney
02.1994 - 11.1997
- Worked in "the cage" to assist the Operations Manager
- Cashiering
- Wire operator
- New accounts coordinator,
- Document controller
- Margin calls
- Maintenance calls
Sales Assistant
Prudential Securities
09.1991 - 11.1993
- Assisted customers with prompt and polite support in-person and via telephone.
- Worked with 2 person Financial Team
- Maintained client files
- Scheduled client appointments
- Gathered new account information from clients
- Responsible for all service requests
- Worked with Advisor, Compliance, and Clients to address and resolve maintenance calls and margin calls in accounts
- Responsible for Prep work for monthly seminars including scheduling, preparing materials, mailing campaigns, calling campaigns, checking in prospects and clients at events
Sales Assistant/Cashier
Legg Mason
09.1991 - 11.1993
- Worked in small office for several Advisors assisting with day to day new account maintenance, money and cash movement, and operations
- Manual Posting of trades, including gain/loss daily
- Maintenance of client files
- Met client needs and researched problems and questions via phone and in person
- Prepared Estate evaluations
- Receptionist
- Cashier- responsible for all deposits of funds and Stock /Bond Certificates
Education
Series 7- General Securities Representative
Series 66 - Uniform Combined State Law
High School Diploma -
North Dorchester High School
Hurlock, MD05.1986
Skills
- Able to multitask, prioritize, and coordinate multiple projects with deadlines in fast-paced environments
- Strong attention to detail
- Excellent phone, communication, and listening skills with the ability to build and foster relationships
- Analytical thinker and problem solver to deliver the best solutions to complex challenges
- Self-starter able to take initiative in fast-paced environments
- Proven track record of working collaboratively and optimally with various personalities
- Extensive Financial industry experience with strong knowledge of Equities and Bond Markets, Mutual Funds, UITs, Options, Annuities, and Insurance; as well as risks, fees, and differences between products
- Extensive knowledge of different types of accounts including, but not limited to Retirement Accounts, Trusts, Estates
- Proficiency with Microsoft Outlook, Word, PowerPoint, SharePoint, Moneyguide Pro, Salesforce, NetX, ClientWorks, Beta, Morningstar
Timeline
Registered Sales Assistant
M&T Bank/LPL Financial
01.2015 - Current
Senior Investment Associate, Manager Assistant
Merrill Lynch
11.1997 - 04.2014
Operations Manager Assistant
Smith Barney
02.1994 - 11.1997
Sales Assistant
Prudential Securities
09.1991 - 11.1993
Sales Assistant/Cashier
Legg Mason
09.1991 - 11.1993
Series 7- General Securities Representative
Series 66 - Uniform Combined State Law
High School Diploma -
North Dorchester High School